13F-HR filed by WEDBUSH SECURITIES INC
WEDBUSH SECURITIES INC filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-04, with 833 holding rows worth $671,411,000.
- Accession
- 0001142495-16-000023
- Filer
- CIK 1142495
- Filed
- 2016-11-04
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 13,331 entries on the cover page, a total value of $671,411,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $671,411,000 with VALUE read as thousands by filing date, 13F file number 028-12460. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| RESOURCE CAP CORP | 76120W708 | COM NEW | 24,270 | $311,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 3,246 | $310,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 54,483 | $310,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 3,989 | $309,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 9,746 | $308,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 22,281 | $305,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 37,100 | $304,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 10,897 | $302,000 | thousands by filing date | |
| THE COOPER COMPANIES | 216648402 | COM NEW | 1,682 | $302,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 12,700 | $302,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 10,664 | $301,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 14,395 | $301,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 20,687 | $301,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 39,270 | $301,000 | thousands by filing date | |
| HARRIS CORP INC | 413875105 | COM | 3,263 | $299,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 1,000 | $299,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 56,388 | $298,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359309 | COM | 11,100 | $298,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 3,000 | $298,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 4,281 | $296,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 2,666 | $295,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 19,522 | $295,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 1,635 | $294,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 3,475 | $294,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 10,547 | $294,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 10,356 | $294,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 31,295 | $294,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 15,161 | $293,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 7,017 | $293,000 | thousands by filing date | |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 5,404 | $292,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 36,607 | $292,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 8,934 | $292,000 | thousands by filing date | |
| SYNCHRONYFINL | 87165B103 | STOK | 10,354 | $290,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 24,105 | $290,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 7,590 | $289,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 11,694 | $288,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 4,983 | $287,000 | thousands by filing date | |
| BRUNSWICK CORP | 117043109 | COM | 5,886 | $287,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 18,678 | $287,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 3,822 | $286,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 20,633 | $285,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 6,197 | $282,000 | thousands by filing date | |
| WELLTOWER INC COM | 95040Q104 | REIT | 3,761 | $281,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 6,813 | $281,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 20,032 | $280,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 983 | $277,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 1,351 | $276,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 17,913 | $275,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 10,690 | $275,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 3,399 | $274,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 4,682 | $274,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 15,564 | $274,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 28,783 | $274,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 6,362 | $272,000 | thousands by filing date | |
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 20,074 | $271,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP LOW | 73937B639 | EXCHANGE TRADED | 7,005 | $271,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 25,118 | $268,000 | thousands by filing date | |
| DEXCOM INC COM | 252131107 | Stock | 3,050 | $267,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 9,123 | $267,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 35,035 | $267,000 | thousands by filing date | |
| ITC HLDGS CORP | 465685105 | COM | 5,696 | $265,000 | thousands by filing date | |
| WESTERN ALLIANCE BANCORP COM | 957638109 | Stock | 7,021 | $264,000 | thousands by filing date | |
| iShares Currency Hedged MSCI EAFE ETF | 46434V803 | SHS | 10,570 | $262,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 6,671 | $262,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 1,992 | $262,000 | thousands by filing date | |
| POLARIS INC COM | 731068102 | Stock | 3,385 | $262,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 10,000 | $262,000 | thousands by filing date | |
| HEALTHCARE SVCS GROUP INC | 421906108 | COM | 6,593 | $261,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 18,450 | $260,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 1,623 | $258,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 6,690 | $258,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 13,800 | $258,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 35,293 | $258,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 7,589 | $257,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 45,792 | $257,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 605 | $256,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 16,617 | $256,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 5,589 | $255,000 | thousands by filing date | |
| REINSURANCE GROUP AMER INC COM NEW | 759351604 | Stock | 2,350 | $254,000 | thousands by filing date | |
| ISHARES TR | 464287861 | EUROPE ETF | 6,450 | $254,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 4,078 | $253,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 3,482 | $253,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 17,052 | $251,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 10,078 | $250,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 4,722 | $248,000 | thousands by filing date | |
| HOLLYFRONTIER CORP | 436106108 | COM | 10,131 | $248,000 | thousands by filing date | |
| NORTHSTAR REIT. | 66704R803 | Common Stock | 18,856 | $248,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 2,109 | $245,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 10,636 | $245,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 23,445 | $245,000 | thousands by filing date | |
| LEAR CORP COM NEW | 521865204 | Stock | 2,004 | $243,000 | thousands by filing date | |
| H&E EQUIPMENT SERVICES INC | 404030108 | COM | 14,408 | $241,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 12,558 | $241,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 5,014 | $240,000 | thousands by filing date | |
| SERVICE CORP INTL COM | 817565104 | Stock | 9,053 | $240,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DWA TECH | 73935X153 | COM | 5,650 | $240,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 22,817 | $240,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 2,000 | $240,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 3,714 | $239,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 6,760 | $238,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 21,073 | $238,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 65,300 | $238,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 5,341 | $237,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 16,155 | $237,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 15,015 | $237,000 | thousands by filing date | |
| ATMOS ENERGY CORP COM | 049560105 | Stock | 3,176 | $236,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 1,415 | $236,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 7,313 | $236,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 1,178 | $234,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 1,904 | $234,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 2,390 | $233,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 3,603 | $232,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 29,198 | $232,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 15,250 | $232,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 5,862 | $231,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 3,763 | $230,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 12,000 | $230,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 10,000 | $229,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 7,912 | $228,000 | thousands by filing date | |
| NUVEEN HIGH INCOME DECMBR 20 | 67076E107 | COM | 22,200 | $227,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 8,729 | $226,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 7,542 | $226,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 1,691 | $225,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 5,224 | $224,000 | thousands by filing date | |
| NUVEEN HGH INC DEC18 TRGT TR | 67075P103 | COM | 21,500 | $224,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 1,847 | $223,000 | thousands by filing date | |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 3,305 | $223,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 2,461 | $222,000 | thousands by filing date | |
| WHIRLPOOL CORP COM | 963320106 | Stock | 1,370 | $222,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 9,584 | $222,000 | thousands by filing date | |
| SMITH A O CORP COM | 831865209 | Stock | 2,236 | $221,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 6,643 | $221,000 | thousands by filing date | |
| VCA ANTECH INC | 918194101 | COM | 3,160 | $221,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 21,000 | $221,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 8,760 | $220,000 | thousands by filing date | |
| RR DONNELLEY + SONS CO | 257867101 | COM | 14,000 | $220,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 7,992 | $218,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 4,251 | $218,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 5,276 | $218,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 8,560 | $218,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 6,759 | $217,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 1,690 | $217,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 1,665 | $217,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 7,831 | $217,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 10,422 | $216,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 1,398 | $216,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 38,979 | $216,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 1,399 | $215,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 6,554 | $215,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 4,137 | $215,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 16,097 | $215,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 15,500 | $215,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 4,538 | $214,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 2,494 | $213,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 25,396 | $213,000 | thousands by filing date | |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 4,598 | $213,000 | thousands by filing date | |
| NUVEEN CA DIV ADVANTG MUN FD | 67069X104 | COM | 12,970 | $213,000 | thousands by filing date | |
| INNOVATOR IBD 50 | 004006508 | COM | 9,059 | $213,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 4,992 | $210,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 4,500 | $209,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 2,757 | $208,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 18,875 | $208,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 1,534 | $208,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 46,846 | $207,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 8,220 | $207,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q744 | DWA SC TECHLDR | 5,389 | $207,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 2,053 | $206,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 1,586 | $206,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 13,865 | $206,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 12,029 | $205,000 | thousands by filing date | |
| KBHOME | 48666K109 | COM | 12,716 | $205,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 2,011 | $205,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 1,056 | $205,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 8,458 | $204,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 4,288 | $203,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 14,959 | $203,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 16,000 | $203,000 | thousands by filing date | |
| PACER FDS TR | 69374H204 | TRENDP US MID CP | 7,922 | $202,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 5,387 | $202,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 3,809 | $201,000 | thousands by filing date | |
| EQUITY COMMONWEALTH | 294628102 | COM SH BEN INT | 6,636 | $201,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 3,571 | $200,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 11,419 | $196,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 15,533 | $196,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 14,300 | $194,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 13,611 | $193,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 26,300 | $188,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 29,836 | $187,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 10,493 | $182,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 16,632 | $181,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 10,100 | $180,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 22,000 | $179,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 15,178 | $179,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 11,172 | $178,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 13,231 | $175,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 17,842 | $174,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 12,146 | $173,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 11,382 | $172,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 12,517 | $166,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 11,998 | $165,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 10,966 | $165,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 16,800 | $164,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 357,796 | $164,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 15,350 | $162,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 12,177 | $162,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 100,148 | $162,000 | thousands by filing date | |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 11,803 | $161,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 10,775 | $160,000 | thousands by filing date | |
| NORTHSTAR ASSET | 66705Y104 | Common Stock | 12,350 | $160,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 19,233 | $157,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 31,104 | $157,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 17,909 | $156,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 29,000 | $156,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 20,360 | $155,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 40,846 | $154,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 16,537 | $153,000 | thousands by filing date | |
| KINDRED HEALTHCARE INC | 494580103 | COM | 15,000 | $153,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 42,208 | $152,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 11,550 | $149,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 13,529 | $147,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 12,064 | $144,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 16,772 | $143,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 56,974 | $142,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 13,929 | $140,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 12,562 | $140,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 11,293 | $139,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 25,744 | $136,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 32,050 | $134,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 13,806 | $133,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 22,435 | $131,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 28,234 | $128,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 12,795 | $122,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 11,250 | $121,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 20,794 | $121,000 | thousands by filing date | |
| ESCALON MED CORP CMN STK | 296074305 | Cmn | 181,183 | $121,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 24,900 | $120,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 86,438 | $118,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 10,127 | $116,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 128,028 | $116,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 13,084 | $114,000 | thousands by filing date | |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 10,030 | $112,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 22,220 | $110,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 14,125 | $109,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 25,245 | $109,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 61,720 | $108,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 32,411 | $107,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 50,344 | $105,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 10,626 | $103,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 21,200 | $99,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 10,032 | $97,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 12,600 | $96,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 10,378 | $96,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 10,675 | $96,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 11,083 | $95,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 15,379 | $94,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 20,000 | $92,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 12,083 | $91,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 11,735 | $91,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 15,643 | $91,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 20,383 | $88,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 11,000 | $88,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 162,200 | $88,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 27,743 | $86,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 12,400 | $82,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 13,300 | $79,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 25,387 | $76,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 22,995 | $75,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 21,220 | $74,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 14,027 | $74,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 10,335 | $71,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 11,000 | $70,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 14,806 | $67,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 11,198 | $66,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 27,916 | $66,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 11,883 | $65,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 15,000 | $64,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 11,312 | $62,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 59,270 | $62,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 21,106 | $61,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 10,310 | $60,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 10,858 | $60,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 14,699 | $59,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 11,430 | $59,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 16,845 | $58,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 20,743 | $58,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 13,500 | $58,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 28,500 | $57,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 12,500 | $56,000 | thousands by filing date | |
| LIME ENERGY CO COM | 53261U304 | COM | 25,862 | $54,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 11,400 | $53,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 19,136 | $51,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 29,045 | $48,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 10,195 | $48,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 14,500 | $47,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 13,672 | $46,000 | thousands by filing date | |
| Sierra Oncology, Inc. | 74346L101 | common | 24,323 | $44,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 16,000 | $43,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 11,650 | $43,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 12,900 | $43,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 10,500 | $40,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 22,000 | $38,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 20,675 | $37,000 | thousands by filing date | |
| BIOBLAST PHARMA LTD | M20156101 | SHS | 21,000 | $36,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 31,130 | $35,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 14,000 | $35,000 | thousands by filing date | |
| AURIS MED HLDG AG | H03579101 | COM | 17,300 | $30,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 10,000 | $29,000 | thousands by filing date | |
| WINDTREE THERAPEUTICS INC | 97382D105 | COM | 10,784 | $28,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 10,029 | $27,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 15,594 | $27,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 11,217 | $26,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 12,047 | $25,000 | thousands by filing date | |
| CATALYST | 14888D109 | COM | 21,000 | $25,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358400 | COM PAR NEW | 18,001 | $23,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 29,200 | $21,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 10,312 | $18,000 | thousands by filing date | |
| PRIMA BIOMED LTD | 74154B203 | SPON ADR LVL II | 20,000 | $18,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 30,000 | $17,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 16,000 | $17,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 15,000 | $17,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 10,800 | $13,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 13,000 | $12,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 18,110 | $10,000 | thousands by filing date | |
| Carbylan Therapeutics Inc. | 141384107 | COM | 21,700 | $10,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 32,500 | $9,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 16,000 | $9,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 10,500 | $8,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 10,000 | $5,000 | thousands by filing date | |
| MINCO GOLD CORPORATION | 60254D108 | COM | 10,000 | $3,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 32,181 | $2,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 72,044 | $1,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 10,000 | $1,000 | thousands by filing date | |
| EPIRUS Biopharmaceuticals Inc | 29428P107 | Common Stock | 10,550 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001142495-16-000023 | this filing | 2016-11-04 | acceptance time not in the bulk data set |